- Tri-State Generation and Transmission Association, Inc. (Westminster, CO)
- …with United States (US) Generally Accepted Accounting Principles (GAAP), the Securities and Exchange Commission (SEC), and the Federal Electric Regulatory Commission ... statement, indirect cash flow statement, and balance sheet), ensure compliance with generally accepted accounting principles (GAAP), Federal Energy Regulatory… more
- Wells Fargo (Miami, FL)
- …while leveraging solid understanding of the function, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues and managers ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related… more
- Wells Fargo (Charlotte, NC)
- …to Transact team as part of the Corporate Investment Banking (CIB) Securities Shared Services Operations (Shared Services) organization, a cross-functional group of ... + Identify patterns in Regulatory Programs and update the Compliance Stats to prevent more research/ outreach + Track...and Recordkeeping** + Extensive knowledge and understanding of loan, securities , and derivative products (front to back flow of… more
- Wells Fargo (Irvine, CA)
- …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution of various… more
- The Hertz Corporation (Estero, FL)
- …legal setting under the guidance of attorneys, which includes supporting Securities and Exchange Commission ("SEC") filings and public company compliance ... for the corporate team's three critical pillars: (1) public company compliance , (2) corporate governance, and (3) transactional support for financing transactions.… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Wells Fargo (Scottsdale, AZ)
- …understanding of the independent advisor business model, including operational flexibility, compliance nuances, and client service dynamics. + Proven ability to ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Wells Fargo (St. Louis, MO)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... (Word, Excel, and Outlook) skills Successfully completed + Successfully completed Securities Industry Essentials (SIE) exam + Successfully completed FINRA Series 7… more
- Wells Fargo (Charlotte, NC)
- …to deliver training, education, and strategic support to advisors. + Ensure compliance with regulatory requirements and internal policies across all activities. + ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more